Volume II of Responsible Science includes background papers and selected institutional reports, policies, and procedures that were used to develop Volume I. Topics discussed include traditions of mentorship in science; data handling practices in the biological sciences; academic policies and standards governing the conduct of research practices; congressional interest in issues of misconduct and integrity in science; the regulatory experience of human subjects research; and the roles of scientific and engineering societies in fostering research integrity.

The panel also considers numerous institutional policy statements adopted by research universities and professional societies that address different aspects of misconduct or integrity in science. These statements have been selected to convey the diverse approaches for addressing such matters within research institutions.

Contents

• PANEL ON SCIENTIFIC RESPONSIBILITY AND THE CONDUCT OF RESEARCH
• COMMITTEE ON SCIENCE, ENGINEERING, AND PUBLIC POLICY
• Preface
• Part A. Background Papers
  • 1. Fostering Responsible Conduct in Science and Engineering Research: Current University Policies and Actions
    • Introduction
    • Normative Rules
    • Monitoring Research
    • Promoting Discussion
    • Undertaking Institutional Reform
    • Observations And Conclusions
  • 2. Professional Societies and Responsible Research Conduct
    • Introduction
    • The Professional Society Role: The Rationale
    • The Societies' Self-Acknowledged Role And Approach To Promoting Responsible Research Conduct
    • Professional Society Standards Of Responsible Research Conduct
    • Reinforcing Professional Standards
    • Improving The Professional Society Response
    • Appendix A Societies Contacted For Data On Research Ethics Activities
    • Appendix B Society Standards And Guidelines Consulted
  • 3. Mentorship and the Research Training Experience
    • Introduction
    • The Role Of The Research Mentor
    • The Research Training Experience
    • Making Mentorship Better
  • 4. Reflections on the Current State of Data and Reagent Exchange Among Biomedical Researchers
    • Introduction And Definition Of Terms
    • Current Practices For Data Dissemination And Storage
    • Practices Influencing The Distribution Of Research Reagents
    • Data Ownership And Retention
    • Summary And Conclusion
  • 5. Factors Enhancing Acceptance of Federal Regulation of Research
    • Introduction
    • Adequate Time Frame
    • Constituent Participation In Policy Making
    • Public Access To The Deliberative Process
    • Resistance From The Newly Regulated
    • Evidence Concerning IRB Performance
    • Patience, Perseverance, And Goodwill
    • Lessons For The Future
  • 6. Congressional Activities Regarding Misconduct and Integrity in Science
    • Introduction
    • Early Oversight
    • Early Legislative And Regulatory Efforts
    • The Next Round
    • Interest Broadens In The House
    • Federal Agencies Take Action
    • Recent Hearings
    • Other Signs Of Legislative Interest
    • Interested Committees
    • Future Activities
    • Activities Of Congressional Support Agencies
    • General Observations
• Part B. Selected Guidelines for the Conduct of Research
  • 7. Guidelines for the Conduct of Research at the National Institutes of Health
    • Introduction
    • Supervision of Trainees
    • Data Management
    • Publication Practices
    • Authorship
    • Peer Review and Privileged Information
    • Clinical Research
    • Concluding Statement
  • 8. Guidelines for Investigators in Scientific Research
    • I. Introduction
    • II. Supervision of Research Trainees
    • III. Data Gathering, Storage, Retention:
    • IV. Authorship:
    • V. Publication Practices:
    • VI. Laboratory Guidelines:
  • 9. Rules and Guidelines for Responsible Conduct of Research
    • I. Orientation And Guidance For Faculty
    • II. Supervision Of Students, Postdoctoral Fellows, And Other Research Personnel
    • III. Data Gathering, Storage, Retention
    • IV. Authorship
    • V. Publication Practices
    • VI. Laboratory Guidelines
    • VII. Reporting Academic Misconduct
  • 10. Guidelines for the Responsible Conduct of Research
    • Introduction
    • Responsibilities of a Mentor
    • Data Collection and Management
    • Rights and Responsibilities of Peer Review
    • Guidelines for Authorship
    • Industrial-Academic Interface: Issues of Integrity and Misconduct
    • The Academic Environment
    • Appendix E Criteria for Promotion
  • 11. Report of the Committee on Academic Responsibility
    • Summary
    • Charge and Committee Procedures
    • Findings and Conclusions
    • Summary of Recommendations
    • I. Introduction
    • II. The Changing Environment for University Research
    • III. Values in Research
    • IV. Research Misconduct
    • V. Research Practices
    • VI. Education in Research Conduct
    • VII. Government Regulations and MIT Policies and Procedures
    • VIII. Procedures for Responding to Allegations of Research Misconduct
    • IX. Protection of Complainants
    • X. Rights of the Accused
    • XI. Institutional Memory
    • XII. Interactions with the Federal Government
• Part C. Specific Research Policies and Practices
  • 12. Policy for Recording and Preserving Scientific Data
    • Introduction
    • Policy
    • Guidelines
    • Implementation
  • 13. Guidelines on Research Data and Manuscripts
    • §1 Responsibilities of BTRC Principal Investigators
    • §2 Orientation of BTRC Research Personnel
    • §3 Research Data
    • §4 Standards for BTRC Databooks
    • §5 Authorship
    • §6 Coauthorship
    • §7 Manuscript Submissions
    • §8 Publication of Negative Results, Corrections, Errata, and Retractions
    • §9 Questions of Research or Publication Practice Other Than Authorship
    • Summary Checklist Btrc Protocol On Recording Data And Preparing For Publication
  • 14. PHS Policy Relating to Distribution of Unique Research Resources Produced with PHS Funding
    • A. PHS Policy on Distribution of Research Resources
    • B. Distribution Costs
    • C. Inventions and Commercialization
  • 15. Guidelines for Professional Conduct
    • A. Research Results
    • B. Publication And Authorship Practices
    • C. Peer Review
    • D. Conflict Of Interest
• Part D. Policies and Procedures for Handling Allegations of Misconduct in Science
  • 16. Framework for Institutional Policies and Procedures to Deal with Fraud in Research
    • Introduction
    • Definition Of Research Fraud
    • Process For Handling Allegations Of Research Fraud
  • 17. Principles and Procedures for Dealing with Allegations of Faculty Misconduct
    • Procedures
    • II. Principles and Procedures for Dealing with Allegations of Faculty Misconduct
  • 18. Procedures for Investigating Academic Fraud
    • I. Introduction
    • II. Defining Academic Fraud
    • III. Institutional Structure
    • IV. Concluding Observations
  • 19. Draft Revision of Policy on Integrity of Research
    • I. Policy
    • II. Procedures For Handling Allegations Of Research Misconduct
• Appendix Policies Which Pertain to Integrity in Research at the University of California, San Diego

NOTICE: This volume was produced as part of a project approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. It is a result of work done by an independent panel appointed by the Committee on Science, Engineering, and Public Policy, which has authorized its release to the public.

Part A of this volume has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee and by the Committee on Science, Engineering, and Public Policy. Both consist of members of the National Academy of Sciences, National Academy of Engineering, and Institute of Medicine.

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Frank Press is president of the National Academy of Sciences.

The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Robert M. White is president of the National Academy of Engineering.

The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences in its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine.

The Committee on Science, Engineering, and Public Policy (COSEPUP) is a joint committee of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. It includes members of the councils of all three bodies.